FINRA also said it won’t ignore suitability violations. The agency said its exams will “focus primarily on assessing whether firms have made a good faith effort to establish and implement policies and procedures reasonably designed to comply with Reg BI and Form CRS.”
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FINRA to Adopt SEC’s Approach to Reg BI, Form CRS Exams
FINRA said yesterday that broker-dealers can expect the agency to take the same approach to Reg BI and Form CRS compliance exams as the SEC. So reports Think Advisor.
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